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Detailed Report
RICHARD PAUL KENNER
RICKY PAUL KENNER
CRD#: 4221297
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 712 Main St, Floor 5
Houston, TX 77002
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2006 - 2008 (2 years)2 FIRMS2008 - 2012 (4 years)2 FIRMS2012 - Present (12 years)BSOUTHWEST SECURITIES, INC. (CRD# 6220)2005 - 2005 (<1 year)BH.D. VEST INVESTMENT SERVICES (CRD# 13686)2000 - 2005 (4 years)BSIMMERS CAPITAL MANAGEMENT COR... (CRD# 29960)2000 - 2000 (<1 year)
License(s)

State Registrations

B
Alabama 7/7/2023
B
Nevada 3/8/2018
B
Arizona 6/19/2015
B
New Jersey 2/11/2016
B
California 10/1/2012
B
New Mexico 4/20/2016
B
Colorado 5/24/2013
B
New York 11/20/2015
B
District of Columbia 10/29/2024
B
North Carolina 1/28/2021
B
Florida 9/10/2013
B
Oklahoma 10/1/2012
B
Georgia 11/1/2013
B
Oregon 4/19/2024
B
Hawaii 10/1/2021
B
Pennsylvania 12/17/2013
B
Illinois 5/30/2014
B
Tennessee 3/14/2017
B
Louisiana 8/5/2016
B
Texas 10/1/2012
B
Massachusetts 2/26/2014
IA
Texas 10/1/2012
B
Michigan 6/16/2014
B
Virginia 12/6/2012
B
Mississippi 3/12/2020
B
Washington 12/23/2019
B
Missouri 4/10/2020
B
Wisconsin 5/28/2020

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX Emerald, LLC
B
 MIAX PEARL, LLC
B
 MIAX Sapphire
B
 Miami International Securities Exchange, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 NYSE National, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq MRX, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
J.P. MORGAN SECURITIES LLC (CRD#:79)
712 Main St, Floor 5, Houston, TX 77002
Registered with this firm since 10/1/2012
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
712 Main St, Floor 5, Houston, TX 77002
Registered with this firm since 10/1/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/30/2008 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) SPRING, TX
B
 01/30/2008 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) SPRING, TX
IA
 01/24/2006 - 01/09/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LUFKIN, TX
B
 01/13/2006 - 01/09/2008 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LUFKIN, TX
B
 05/02/2005 - 12/16/2005 SOUTHWEST SECURITIES, INC. (CRD#:6220) DALLAS, TX
B
 12/07/2000 - 04/25/2005 H.D. VEST INVESTMENT SERVICES (CRD#:13686) DALLAS, TX
B
 07/13/2000 - 09/28/2000 SIMMERS CAPITAL MANAGEMENT CORPORATION (CRD#:29960) PHOENIX, AZ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.